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Regulatory and Securities Litigation

We have a great depth of experience representing public and private companies, officers and directors, securities firms and their registered professionals in a wide range of proceedings including:

  • NYSE and FINRA securities arbitrations;
  • federal and state commercial litigation;
  • Nasdaq delisting proceedings;
  • securities related employment and customer disputes, and
  • SEC, NYSE and FINRA investigations and enforcement actions.

These matters range from the garden variety investment claims to sophisticated securities fraud actions and enforcement proceedings involving:

  • 10b-5 claims;
  • officer and director liability;
  • improper disclosure;
  • market manipulation
  • trade reporting violations;
  • failure to supervise;
  • clearing and trading irregularities;
  • research conflicts of interest, and
  • sales practice rule violations.
Name Title Phone V-Card Email Office
Michael A. Goldstein Shareholder 212.599.3322 New York
Robert I. Rabinowitz Shareholder 732.842.1662 Red Bank
Thomas A. Tormey, Jr. Of Counsel 212.599.3322 New York
Steven Vogel Shareholder 305.262.4433 Miami